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ERIC CAINDEC
ERIC KAIMI CAINDEC, Eric K Caindec
CRD#: 2751089
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 770 TAMALPAIS DR STE 400
CORTE MADERA, CA 94925
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2003 - 2009 (6 years)2 FIRMS2009 - 2020 (11 years)2 FIRMS2020 - Present (4 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1996 - 2003 (6 years)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1997 - 2003 (5 years)
License(s)

State Registrations

B
Alabama 5/15/2024

B
Missouri 11/19/2021

B
Alaska 12/4/2020

B
Montana 10/17/2023

B
Arizona 12/4/2020

B
Nevada 2/13/2023

B
Arkansas 12/4/2020

B
New Hampshire 2/13/2023

B
California 12/4/2020

B
New Jersey 5/15/2023

IA
California 12/4/2020

B
New Mexico 12/4/2020

B
Colorado 12/4/2020

B
New York 12/4/2020

B
Connecticut 12/4/2020

B
North Carolina 2/13/2023

B
Florida 12/4/2020

B
Ohio 12/4/2020

B
Georgia 12/4/2020

B
Oregon 12/4/2020

B
Hawaii 5/13/2024

B
Rhode Island 7/1/2021

B
Idaho 2/13/2023

B
South Carolina 10/6/2021

B
Illinois 2/22/2023

B
South Dakota 2/13/2023

B
Iowa 12/4/2020

B
Tennessee 5/13/2024

B
Kentucky 5/13/2024

B
Texas 12/4/2020

B
Louisiana 5/13/2024

IA
Texas 12/4/2020

B
Maine 2/13/2023

B
Utah 12/7/2020

B
Maryland 5/13/2024

B
Washington 12/4/2020

B
Massachusetts 12/4/2020

B
Wisconsin 2/13/2023

B
Michigan 11/23/2022

B
Wyoming 5/13/2024

B
Minnesota 1/25/2021

SRO Registrations

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq GEMX, LLC

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
770 TAMALPAIS DR STE 400, CORTE MADERA, CA 94925
SAN RAFAEL, CA
Registered with this firm since 12/4/2020

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
770 TAMALPAIS DR STE 400, CORTE MADERA, CA 94925
SAN RAFAEL, CA
Registered with this firm since 12/4/2020

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
10/23/2009 - 12/11/2020 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) MILL VALLEY, CA
B
10/23/2009 - 12/11/2020 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) MILL VALLEY, CA
IA
05/09/2003 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) SAN RAFAEL, CA
B
05/09/2003 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) SAN RAFAEL, CA
IA
07/08/1997 - 05/19/2003 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) BERKELEY, CA
B
07/12/1996 - 05/19/2003 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NEW YORK, NY
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.